Securities / Derivatives

Securities / Derivatives

ASIC Expects Market Participants to Detect Pump and Dump Activity

By Editors | 23/07/2022

New report sets out indicators and good practices to help market participants detect, prevent, and respond to pump and dump activity.

Fintech / Regtech

Philippines: Diokno Directs SEC to Further Digitalise Markets

By Editors | 21/07/2022

Finance Secretary Benjamin Diokno directed the SEC to use digital technologies to improve monitoring, build investor trust, protect the investing public, and better serve the economy.

ESG / Sustainability

SGX RegCo Outlines Steps to Tackle Greenwashing

By Manesh Samtani | 21/07/2022

SGX is developing a digital portal known as ESGenome which will help issuers with disclosures and make ESG data more easily accessible to investors.

Capital / Liquidity

China to Recapitalise Small Banks Through Local Government Debt

By Editors | 21/07/2022

Regulators are working to accelerate the issuance of special local government bonds to help boost the capital of small and medium-sized banks.

Enforcement

SFC Fines RBC Investment Services for Mishandling Client Assets

By Editors | 21/07/2022

The SFC said RBC Investment Services failed to segregate client money and transferred securities from client accounts without valid standing authority.

Capital / Liquidity

APRA Finalises New Standards on Super Fund Investment Governance

By Editors | 21/07/2022

The new standard will commence on 1 January 2023. APRA will consult on additional guidance later this year, also covering ESG risks.

Enforcement

ASIC Imposes Eight Year Bans Over Pressure Selling of CFDs

By Editors | 21/07/2022

Two executives have been banned for eight years after their firm engaged in “unconscionable conduct” including the use of pressure selling tactics.

Securities / Derivatives

Taiwan FSC Relaxes Rules for Investors on Collateral Use

By Editors | 20/07/2022

Investors can use assets such as gold and mutual fund units as collateral to meet margin calls rather than be forced out of positions.

ESG / Sustainability

JPX Launches New ESG Bond Information Platform

By Editors | 20/07/2022

The new platform brings together information about securities and issuers, including their strategies, use of proceeds, ESG impacts, and external reviews.